The Artist’s sm Complete & (ruide to NOISSHdd Xd TV IOV Gary FaiginLIBS Lea Leese DscusT WATSON-GUPTILL PUBLICATIONS E 770 Broadway, New York, NY 10003$35.00 The Artist's Complete Guide to FACIAL EXPRESSION Gary Faigin This comprehensive visual index to the subtleties of emotion conveyed by facial ex- pression is the only book of its kind. The Artist's Complete Guide to Facial Expression carefully explains and illustrates the role of the muscles of expression and the effects of ‘these muscles on the face. The images pre- sented, from the author's own work and from photographic and artistic sources, focus on the action of muscles in three key areas of the face—the forehead and brows, the eyes, and the mouth and chin. Gary Faigin shows how the successful por- trayal of the face is dependent on an under- standing of the deep forms of head and skull. Faigin goes on to illustrate the ex- pressive results of individual facial muscles. ‘This structural information is then drawn together in a brilliant section, which is de- voted to depicting the six basic human expressions—sadness, anger, joy, fear, disgust, and surprise. Each emotion is por- trayed in steadily increasing intensity, from subtle signs of the emotion to full-blown expressions. Detailed renderings are sup- plemented by illustrations from such other sources as news photos, cartoons, movie posters, and art masterworks—complex, finished works that show the basic emo- tional patterns in use. An appendix features examples of each nuance of the basic ex- pressions, including similar facial states of purely physical origin, such as yawning or the face of pain. The Artists Complete Guide to Facial Ex- ressionis a major contribution to the litera- ture of art instruction. This is a unique work, highly intelligent yet lively and enter- taining, on a subject crucial to the develop- ment of every artist. 288 pages. 8% I (21 28 cm), 400 black-and-white illustrations. Index. WATSON-GUPTILL PUBLICATIONS Gary Faigin is a painter and printmaker whose work has been exhibited in one-man and group shows around the country. He was trained at the Art Students League and the Ecole des Beaux Arts de Paris. He currently lectures at the Art Students League of New York, and has served on the faculties of the National Academy School of Design School of Fine Art and the Parsons School of Design. His own school, the Academy of Realist Art, offers classes in Santa Fe, Seattle, and New York City. He lives in Seattle and Santa Fe with his wife, architect and designer, Pamela Belyea. Jacket design by Bob Billie, Graphiti Graphics WATSON-GUPTILL PUBLICATIONS — ieee pit nus,The Artist's Complete Guide to FACIAL EXPRESSION Gary Faigin WATSON-GUPTILL PUBLICATIONS/NEW YORK‘To Henry, Frieda, and Pamela Senior Editor Candace Raney ‘Associate Editor: Cari Rosen Designer. Robert Fillo Production Manager: Elen Greene Production Coordinator: Marybeth Tagan “ypogracker: Tuten Typographers, Inc. Set in Century Oldsivie Copyright @ 1990 Watson-Guptil Pubseations First pubished in 1990 In New York by Watson-Guptill Publ Cations, division of BPI Communications, Inc, 770 Broadway, New York, NY 10003 Library of Congress Cataloging-in-Publication Data Faigin, Gary 1950- The atiat's compete guide to facial expression / Gary Fagin, pom Includes bibtographicalreerences, Includes index ISBN 0-8220-16285 1. Facial expression in ar. 2. Art—Technique. |. Tie. N7S73.3F35\ 1990 708 914220 90-48379 cP Distributed in the United Kingdom by Phaidon Press Lid ‘Muster House, Jan Hil Road, Oxford Ox2 ao [Al rights reserved. No part ofthis publication may be reproduced or used in any form or by any means—graphic ‘lecttoic, or mechanical. ncuding photocopying, record- ing, taping, or information storage and retrieval systerns— ‘without writen permission ofthe publisher, Manutactued in the United States of America Fret Prining, 1990 11 42 18/03 02 01 tration rad: Pog 10 (boa) — Yeti Belcher The Prose f Lie, 1872 retyakon Galery, Moscom.Acknowledgments nothing more than a passing idea had it not been forthe intial encouragement of my erstwhile instructor and friend Robert Beverley Hale. In more recent times, Carl Rosen and Candace Raney of Watson-Guptill did more than per- form their editing tasks with style and dispatch; they communicated to the author an enthusiasm for the book no publishing contract can guarantee. Johanna Bartelt shouldered the mara~ thon task of obtaining reproduction rights from museums and agencies around the globe; I will never again take the iliastrations in a picture book for granted. And rather than single out any one thing to credit to Sallie Gouverneur and Pamela Belyea, I'l just say that without their various ser- vices over several years, this book ‘would never have appeared. ‘The work of Dr. Paul Ekman was of crucial importance both in terms of describing the expressions and analyz- ing the muscular actions that create them. Other individuals whose help was much appreciated: Nick Ullet, ‘Terry Brogan, and the 13th St. Reper- tory Company, who provided acting services; the persons at the United ‘States Information Agency who helped contact museums and foreign com- panies for picture rights; Richard Rudich, who was always available with “cold eye” and an encouraging word; Judy Wyer, who did valuable research; Claudia Carlson, who reviewed parts of the manuscript; and Don Poynter, who, together with my Art Students League Saturday class, helped in many ‘ways. Others who should be singled cout include: Bill Ziegler; Rhoda Knight Kall; Ray Harryhausen; Eliot Gold- finger; Milton Newman; Patricia Belyea; Howard Bute; Rosina Florio; Dr, Robert Bell; Kyle Wilton; Lee Loreng; John Kohn of Pro Labs Jill Herbers; Phil Murphy; Scott Wilson; Arlene Smeal; Robin Weil; Elizabeth Valkenier; Max and Ruth Soriano; Commander Jim Belyea; Claire Gutman; Charles Haseloff; Howard Buten; Joel Kostman; Eli Levin; Marie-Genevieve Vandesande; Shos- hanna Weinberger; Janet Hulstrand; Stashu Smaka; Sybil Faigin; Edward Maisel; Ken Aptekar; Joel Miskin; Laurel Rech; Alexandra Baltarzuk; ABC News; Borden Company; Guin ness Company; Steplien Rogers Peck; Kay Hazelip; and finally ll the friends, family members, and students who modeled for the illustrations, Gary Faigin offers workshops and classes around the country. For further information, please contact: The Acad- cemy of Realist Art, 5004 Sixth Avenue NV, Seattle, WA 98107.CONTENTS INTRODUCTION 8 Part One ‘THE STRUCTURE OF THE HEAD 18 GOING BENEATH THE SURFACE 20 CONSTRUCTING THE FEATURES 36 Part Two ‘THE MUSCLES OF EXPRESSION 52 ‘THE NATURE OF THE FACIAL MUSCLES 54 MUSCLES OF THE BROW AND EYE 64 ‘THE MUSCLES OF THE MOUTH 88 Part Three ‘THE SIX BASIC EXPRESSIONS 124 EMOTION AND THE FACE 126 ‘THE EXPRESSION OF SADNESS 132 ‘THE EXPRESSION OF ANGER 160 ‘THE EXPRESSION OF JOY 183 ‘THE EXPRESSION OF FEAR 238 ‘THE EXPRESSION OF DISGUST 254 ‘THE EXPRESSION OF SURPRISE 262 CONCLUSION 268 ; EXPRESSIONS IN BRIEF 270 EXPRESSIONS OF PHYSICAL STATES 281 INDEX 286 CREDITS AND REFERENCES 288INTRODUCTION. ANN “Charles, Pve had it with you and your goddam moods.” here is no landscape that we know as well a3 the human face. The twenty-five-odd square inches ‘containing the featuresis the most inti- ‘mately scrutinized piece of territory in existence, examined constantly, and carefully, with far more than an intel- lectual interest. Every detail of the nose, eyes, and mouth, every regu- larity in proportion, every variation from one individual to the next, are matters about which we are all authorities, ‘We've come to know the face so well because it 50 important to us; infact, it the center of our entire emotional life, From birth to death, the face links us to friends, to family, to everyone ‘meaningful to us. Few things are capa- ble of moving us as deeply a the face of loved one; nothing interests us as ‘much as looking at that same face, in all its moods, in its evolution over time. ‘Tue: FactaL EXPRESSIONS No wonder, then, that the litle move- ments that alter the look of the features—facial expressions—can have such great significance. The slightest suggestion of a smile can start a conversation between strangers; the slightest suggestion of afrowncan start an argument between friends, When we look closely at expressions like smiles and frowns, we realize how Tittle onthe face has to change for us to recognize an altered mood, When we try to draw an expression, we then realize that there isa gap between the ‘recognition ofan expression and the r- ‘creation of one. ‘The actual physical threshold that must be crossed for an expression to be perceived can be very slight. For example, an audience would know in- stantly if a speaker became sad, drowsy, or annoyed; audience mem- bers too distant to distinguish a two- inch P froma two-inch F would have no problem noting a quarterinch shift in the speaker’s eyebrows and interpret- ing its expressive meaning correct: An Innate Skit Our ability to read facial expressions isnt something we had to learn. Its part of our instinctive equipment, like our aversion to pain or our feeling of warmth toward creatures with lots of fur and big eyes. Our mastery of ex- pression is so deep-rooted that its pos- sible to lose the ability to tell one face from another yet stl be able to recog- nize asmile from a frown. Researchers studying stroke victims discovered a ‘group of individuals who could recog- nize various expressions even when they coulda identify their own facesin a mirror. There’ clearly something fundamental about a skill that can per- sist despite such severe brain damage. Just as innate as our capability to istinguish the facial expressions of others is the reflex by which expres- sions appear in the first place. We don't learn to smile or cry by watching adults do it. Facial expressions arise power- fully and involuntarily like sneezes, or shivers. A baby born without sight will laugh and cry like any other baby. In fact, it’s probable that babies have faughed and cried in a similar manner as far back as there have been human babies. Most experts believe that the fundamental facial expressions—fear,joy, sadness, surprise, disgust, and anger—are common to all human soci- ties and have remained unchanged for thousands of years, FACIAL EXPRESSION AND THE ARTIST Facial expression has long attracted the attention of artists. Leon Battista Alberti wrote in his famous handbook for artists, On Painting (1435), that a painting “will move the soul of the be holder when each man painted there clearly shows the movements of his own soul. . . we weep with the weep- ing, laugh with the laughing, and arieve with grieving.” He advised art- ists to carefully study the facial expres- sions, remarking, “who would ever believe who has not tried it how difi- cult itis to attempt to paint a laughing face, only to have it elude you so you ‘make it more weeping than happy?” Albertis comment nicely summa- izes the two most important facts about the relationship of art and ex- pression: (1) facial expression can have a decisive impact on the effect of a fect desired can be maddeningly difi- cult. These facts are related in two ways. First, it is a short step from recognizing the face's powerful grip on our consciousnesses and the primal nature of expressions to recognizing that the same power applies to depic- tions ofthe face. By moving us to iden- tify with the emotions of people in paintings, art can gain in power and impact. Second, since depictions of ex- pressions can be so powerful and sub- tle, they can, by themselves, make or break a picture, ‘There are many stories about art- to perfect a particular laugh or grimace. Leonardo Da Vinciis said to have worked for years on the smile of his Mona Lisa, employing the services of jugglers, musicians, and clowns in an attempt to evoke from his subject that certain smile. While work- ing on his sculpture Martyrdom of ‘Saint Lawrence, Bernini reported to have burned his own leg with a candle in order to study the expression of pain. Ilya Repin agonized over the countenance of the returning exile of his painting They Did Not Expect Him, changing it many times—partly in re- sponse to published criticisms— because he felt that the whole meaning of the picture depended on it. Memorable Images The effort can be worth it: certain ‘masterpieces revolve around a particu: lar vivid expression. It no coincidence that nearly every acknowledged mas- ter of Western art was a master of facial expression. Included in this book are major paintings by Velazquez, Rembrandt, Leonardo, Reubens, and Caravaggio; in each, a vivid expression takes center stage. Alberti’ advice, that an artist should show the soul to arouse the viewer, is borne out in each ‘case; our reaction is the exercise in ‘empathy that he suggested. The manner in which artists have depicted facial expression has also de- pended, to some extent, on the period in which they were working. Artists of the late eighteenth century, for exam- ple, were more likely to portray emo- tions in their paintings by the use of obvious, theatrical gestures—whathes to indica! immortality ofactors call indicating—than by focus ‘ng on subtle movements ofthe face. In paintings by the neoclassical artist David, for example, despairing people fling their arms up in the air or slump against walls in a manner that seems terribly exaggerated and artificial to the modern eye. One would have seen ‘much the same thing in the theater of Davis time, Painters working in the late nine- teenth century, particularly between 1860 and 1890, placed a higher priority (on careful observation from life. Theit artistic climate was shaped by the real- {st movement. Gone were paintings of aymphs and the lives of classical hheroes—in their place were scenes of farmers, laborers, and the unhappy bourgeoisie. In the plays of Chekhov and Ibsen, in the novels of ‘Tolstoy and Zola, and in the paintings of Repin and Eakins, there was a similar effort to hhold up a faithful mirror to the contem- porary world. As actors of the time Drought to the stage a new level of craftsmanship and emotional convic- tion, painters succeeded in portraying the most compelling nuances of facial expressions and gesture. No artists before or since have painted pictures that were so psychologically true in their depictions of the face. The Twentieth Century Inour century, there’ been avery dif ferent attitude towards the value of visual truth. Many felt that painters had exhausted the worth of pursuing the “merely visible” Artists like Pi asso, Cezanne, and Kandinsky strove to create an art that was independent of nature, in which color, form, and expression were valued simply for their own sake. Painting was conceived of as a universal language, like musi, capable of moving our emotions with out any reference to recognizable ele~ ments. Given this ideal, its no wonder that painting in the twentieth century has seen little in the way of continua- tion of the nineteenth-century realists work. ‘The work of photojournalists, how fever, does represent a link with the realist painters of the past (whose drawings often appeared in nineteenth-century newspapers). Just practicing. Rembrandt's fondness for golf-portraiture orose early in his. career, These etchings of the youthful Rembrondt mugging before the mirror were undevbledly meant os exercises in rendering various expressions. Any- ‘one who has ever etched a plate can ‘oppreciate the tosk he sel himself; ex: pressions are not usually held on the face more than an instant, and the ef- {ort to maintain the poses of fear (Al, loughter (B), cnger (C), and the slight smile (D) isin itself impressive News photos have had an enormous impact on the modern consciousness. We can immediately bring to mind the photojournalists images such as Lee Harvey Oswald's scream of pain (or his ‘guard's scowl) or crying children flee- ing their burning village in Vietnam. Unquestionably, these too are images where people “clearly show the move- ment of their own souls.” These photos are direct successors to the “journalis- tic” paintings of the nineteenth. century realists. (Ironically, the advent of newspaper photography was part of the reason realist painting fell into decline.) Painters will always be passionately interested in the face and its moods ina ‘way that transcends periodic fluctua tions in style. The power of the face will always inspire artists to explore its ‘expressive possibilities, and pictures that capture emotions in a striking way will always be notable, Moments of strong emotion are rare in the hum- rum of daily life, and were instinc- tively drawn to images of the face ‘where the “movements ofthe soul” are clear ‘Non-Western Traditions ‘Artists from nearly every period and culture have recorded the effects of emotion on the face. This book in- cludes the jade head of a crying baby from pre-Columbian Mexico; a wooden, snarling-faced war helmet from the Pacific Northwest; scowling ‘emperors carved in stone from ancient Rome; and theater masks from Japan and North Africa displaying a range of ‘emotions from fear to laughter. Human expressions also appear on the faces of animals, demons, and gods; looking at the art of some civilizations, it is harder to finda face in repose than one contorted by some expression. How Artists Have. ‘Srvpiep Expression For artists wishing to inform them- selves on the subject of facial expres- sion, there have always been three op- tions: (1) looking in a mirror: (2) looking at other pictures; (3) direct observation Direct observation is clearly theRembrandt may hove relied on quick notations from lfe for his etchings and paintings, bu these drawings repre sent an unusuelly clear record of his procedures, The skeich of o scream- ing, struggling lle boy hauled off by his mother is a masterpiece of quick observation. Note the flying shoe, the ‘admorishing gesture of the mother, her scowl ‘most difficult option. We dont often see people in the grip of a primal emo- tion, and even when we do, there are obstacles: expressions dont last very long; they are frequently of the utmost subtlety even when they do last; and ‘we usually feel too inhibited or involved to look on objectively when someone else is suffering anguish or pain. Some artists have nonetheless per- sisted in working from direct observa tion. Rembrandt Van Rijs sketch of a screaming child, clearly made from life, became the basis for the expres- sion in (and may have inspired) his painting Ganymede. Perhaps Re- mbrandt was aware of Leonardo's ad- vice: “Try to be a calm spectator of hhow people laugh and weep, hate and love, blanch from horror and ery out in Rembrandt also (like most artists) studied his facial expressions at the mirror. Many of his early etched sell portraits have a distinctive, dramatic expression. These lively pictures were probably meant as a sort of exercise, unrelated to any specific work. Like a musician studying scales, Rembrandt seems to have been preparing himself for the demands of his future art. Ina similar spirit, the French Academy used to require all students to portray 2 specified emotion in an “expression competition,” feeling that it was anim- portant skill that students needed to master. ‘Traditionally, artists have referred to the work of other artists to learn to portray emotion. For example, stu- dents once dutifully copied the an- auished grief-stricken fae ofthe cas- sical sculpture Laoco0n, In the Middle ‘Ages, painters were expected to base their renderings on studio books of standardized drawings. Yet the ex- pressions captured in the sculptures of the Middle Ages seem taken directly from life. One wonders if medieval sculptors took more liberties with their research than painters of the same time.About This Book Curiously, there have been very few books on the subject of facial expres- sion for the artist. To my knowledge, the last one was Sir Charles Bells Bs- says on the Anatomy of Expression in Painting, published in 1806, and it ‘wasnt a terribly good book inthe first place. Many more recent drawing books have included short sections on expression without shedding much useful ligt on the matter. In fact, art- ists familiar with such sources have ‘generally had the good sense to prefer their own judgment and observations. ‘Agreat amount of useful information about facial expressions has recently been published by psychologists. Their research, especially that of Paul Ek- ‘man, the leading authority on the sub- ject, has been a major source of this book. This book also borrows heavily from the work of modern photojournal- ists, whose ability to be at the right place at this right time and to point cameras in the faces of people no mat- ter what the circumstances, have dane artists a great service. ‘Tae HEAD IN AcTION This is not primarily a book on how to draw the head—there are plenty of books that do that. Its a book about depicting the actions of the head. It focuses on the facial expression of emotion, but other actions are illus- trated, such as the sideways gaze, the ‘open mouth, the raised brow, which add to the liveliness ofa face. ‘The gist of this book is in the illus- trations and their accompanying cap- tions, Anyone who reads through the picture pages will have covered most of the material. The text itself offers slightly more detail and discussions of certain theoretical issues. Part of this book is devoted to the anatomical basis of the expressions. ‘The study of anatomy, ithas been said, increases the sensitivity of the artist's eyes, making forms clearer because they are more clearly understood. The expressions offer the eye a potentially confusing landscape of wrinkles, ‘bumps, and altered features. Under- Fecal expression for ortsts. Few ret ctence books have included credible images of facicl expression. These ox- corps from the Diderot Encyclopedia, illestroting (clockwise) reverence (A, discomfort (B), sadness {€}, ond an- ger [D),srke the modern eye os txcessive ond unnatural 3Bipene Vy Disefproral ee fa NS fue f= Sag, Suspense Anatomy and Drawing by Victor Per- ‘ord includes this page on facial ex- pression. If you cover the caplions, very few of the expressions are easily recognizable. Expressions like sur= prise, laughter, ond anger—when genuine—should need no label. Ex- pressions of doubt, supplication, rev erie, nd disapproval, however, are vague emotional states that have no Gistint identity onthe foce. 4 aaa es i a. a ba ee SY ce Bo a —o pplication cI 1° oo standing what creates these forms ‘makes it easier to see the expressions, and it also makes it easier to see the simple underlying pattern that is the true basis of our recognition of a par- ticular expression. Nearly every facial muscle, for example, has a characteris- tic “signature wrinkle.” Once recog- nized, this characteristic will be seen ‘on nearly every face when the same expression is in progress, We discuss first the deep bony forms, then the muscles that lie atop them. In the final section, the facial expressions are described in detail, re~ ferring back to the individual muscles involved in each expression. The reader is encouraged to regularly ex- amine what's discussed on his or her ‘own face. This book is really meant to become a sort of guided tour to the face. ‘How Tae Drawinos WERE MADE _ My drawings were primarily done from my own photographs. In section 3, however, a number of the drawings of the expressions are based on photo- graphs from newspapers and maga- zines. My decision to use newspaper photographs was based on an impor- tant point: some expressions do not seem to be convincing unless they are ‘completely spontaneous, At first, Thad taken photographs of actors portraying various expressions, ‘but many of these were found to be unconvincing. When I showed people newspaper photographs of angry, frightened, or surprised people who had been in situations where these feelings naturally arose, I got a much stronger response. This was true even though I made sure to remove any ‘clues as to what else was going on in the picture. Since my methods were hardly scientific, itis difficult to draw conclusions from the results. But it seems clear that we can usually tell the difference between a spontaneous ex- pression and a posed one. The artist is well advised to get a second, or even a third, opinion if working with a face ‘where the expression is at all doubtful In the end, about half ofthe expres- sion drawings were based on photo- graphs from spontaneous situations. 14 The inquiring camera, Hundreds of photos were taken in preparation for this book. The best were used as the basis for meny of my expression drawings. Sessions with actors proved useful, but many expressions were judged unusable because they appeared too extreme (A] or loo ambiguous (B). Besides working with acters individually, unscripted scenarios were staged in an atlempt to elicit © particular expression. Several actors ganged up on the figure in the dark shirt (€), but the expression of fear did not materialize. At (D), however, i di. There were mony times when | needed extra detail on a part of a face | wos drawing, end taking @ closeup of my own face proved ancther helpful way to do reseorch, only used photographs that I had shown to a large number of people and for which I had gotten similar re- sponses. Many of those photos had serious technical shortcomings in terms of clarity or lighting. I often studied my own features in similar po- sitions to resolve particular details. 1 made @ careful sketch from my own face, and then I transposed it to the face of someone else, ‘Way ue Focus on THe Face Posture and gesture (body language) ccan have a decisive effect on the ex- pression of emotion. The back view of anindividual slumped over with head in hands vividly shows that persons feel- ings. In fact, some emotions are insep- arable from particular gestures: anger with a lunging forward of the body, sorrow with slumping, horror with an instinctive raising of hands to the face. The face alone, however, can com ‘municate the full range of human emo- tion. By just focusing on the face, we can learn many valuable and important things that are no less true because they are also part of a larger context. ‘Think of the face as being like the key solo instrument in a symphony orches- tra. Inaconcerto, the soloist can carry the melody, as can the full orchestra along with the soloist. Likewise, the face can act alone to communicate sad- ness, fear, or pleasure, but more often its message is reinforced by the action of the rest of the body, ‘Tae IveLuENce ov CONTEXT Context, or setting, will also influence the emotional message we get from someone ina picture. If whats goingon in picture leads us to expect to see a particular expression, we will seize on the least clue to convince ourselves that that expression exists. For exam- ple, imagine a portrait ofa man with his eves slightly widened. We might draw any number of conclusions about his emotional state (including the conclu- sion that he not feeling anything in particular). Ifthis same man, however, is painted throwing open the bedroom door on his wife and her lover, were certain to see a great deal more in exactly the same expression. We'relikely to see shock, anger or both, but we will certainly see something pro- nounced based on what we: expect to see. ‘The faces most susceptible to being influenced by context are those with ambiguous or very slight expressions. ‘The less we see going on in a face, the easier itis to read our own message onto it. Our perception of an up- Our perception of facial expression is enormously influenced by what we e pect to see. A caption con Produce an opposing con- ext: @ sob con become smile, The faces most sus- coplible fo being influenced by context are those with ‘ambiguous or very slight expressions This is @ drawing of a wo: mon who hos just learned of the death of a close relative. This is @ drawing of @ wo- man at @ reunion with 6 rel- tive she'd thought dead for many yeors. With this cap- tion, we see her face very differently than with the ‘more tragic ception (in fact, this lost caption is true), 6 roarious laugh or a furious shout, how- ever, is little influenced by the surroundings. ‘ANore apour tHe Muscies If you want to know which facial mus- cles do what, you wont find a clear answer in the standard reference books, like Gray's Anatomy. Five hun- dred years after Leonard's pioneering studies, the subject of facial expression still hasn't been entirely sorted out by the experts. Though psychologists have been busy updating our knowl edge of the face, anatomists have not ‘There are major disagreements in the anatomy books on a number of key issues. For example, no two books seem to agree on exactly which mus- cles make us smile, While some books insist that the risorius (Latin for “to laugh’) is crucial to the action, others assert that nothing could be forther from the truth. Some even dispute the very existence of the muscle, saying that it’s a no-show on many faces, and of little importance on others, and its really another muscle—the Dlatysma—that does the work. Several other facial muscles are in a similar position of having their very existence in doubt. One doestit en- counter this problem studying the anatomy of the arm or the calf, The fact is that the muscles of the face are sominute, s0 confusingly deployed un- der the surface, and of so little interest toresearchers (not being crucial in dis- ease, sports, or disabling injuries) that some fundamental questions are sti uuntesolved. This book represents an attempt to compromise between being too vague and being too certain and specific. The drawings show the surface appear- ances as they are} but exactly what's going on under the surface is still something of a mystery. Few artists will find this serious handicap; stil, it would be nice to know what really makes us smile, How to Use riis Book ‘This book is meant to be read with a mirror close at hand. Many, if not all of the expressions can be fairly easily posed, though some individuals are more gifted at this than others. The position of the eyebrows in sadness, for example, is very easy for some peo: ple to duplicate; others can only do tif they really are sad, But everyone is able to produce the frown or the sneer. Its even more useful to get someone ‘else to sneer or frown and to study that face carefully. Its also helpful to use ‘your sense of touch to trace the three-dimensional forms on your face when posing the expressions Every opportunity should be taken to observe these expressions from ie. Front-row seats atthe theater are per- {ect spots for expression research, and playgrounds can also be great places— children donit tend to hold back when theyre angry or distressed or mind being looked at. also recommend lin- gering at bus stations during” rush hours to watch for commuters late for their buses and spying on tables full of tipsy people in cafés. Ifyou discreetly observe travelers saying their good- byes at airports, you may well spot the charming expression in which sadness tmingles with a smile. And unexpected opportunities arise: I can still vividly bring to mind the distressed look on the brow of the poor woman I saw once being arrested for shoplifting. Just remember—it' not polite to stare! (though dark glasses can help) Movies are useful, and videotapes particularly so, a8 an interesting face canbe watched more than once or even frozen asa stil frame. The daily papers and news magazines are also scanned a bit differently when youte indulging your curiosity about the face—a clip file can be an important tool. Finally have fun with a pencil. The easiest way to begin trying out these expressions is by drawing simple, cartoon-like faces like those in the ap- pendix. Even such rudimentary faces can be quite expressive. Next, you might want to take an existing surplus «drawing or painting ofa face and exper- iment with the effects of various alter- ations in the look of the eyebrows or the mouth. Copying pictures of expressions—either photographs or works of art—is also use Ultimately, the value of this book may be in hinting just how a. slight movement here ot there can add life to «portrait and help bring a personality tollfe. It may also help someone trying to remove an unwanted expression, My fondest hope, however, is that this book will prove helpful to those artists ‘who have ambitions, beyond those of ‘most of their contemporaries, to cre- ate works of art in which the human drama—and the “world of visual appearances’—plays a central role. Seve Fs fot frst you dont succeed, try © slighlly different version. Merely by slightly changing the position ofthe eyebrows, Courbet gave the top portrait of Jo, ‘Whistler's mistress, an undertone the one above completely lacks. The slightly bent eyebrow (and to a lesser extent, the look of the eye and brow) suggests sadness or worry. Instead of a prelty young woman admiring herself in a mirror, we see the painting os © meditation on the fleeting nature of beauty or simply @ study of melancholy. Many ertists might be curious abou the effect such @ ‘change might have on their painting, but few would be curious enough to paint complete alternate versionTHE STRUCTURE OF THE HEADGOING BENEATH THE SURFACE acial expressions come and go. ‘They pass over the surface ofthe face like light ripples on the surface ofa pond. ‘The deep structures beneath, like the deep waters on the bottom ofa pond, remain unperturbed, But the bony forms ofthe head make the pres- ence of the facial expressions felt on the surface indirectly; the teeth give form to the smile; the frontal bone fives form to the frown. ‘A major theme of this book is that Jnowledge enhances seeing, Once you ‘know what the hidden parts ofthe face look like, you can see—and draw— their effects on the surface more clearly. So we study the deep forms, and the forms of the head as a whole, before we look at the localized, super- ficial expressions. AvombING THE BEGINNER'S ERROR There is another, equally important reason to start out with the head as a ‘whole—it will prevent the classic be- sinners error: starting with the fea- tures first and then adding on the head. Because of this drawing order, be- sginners almost always draw the fea- tures as far too big, the head holding them as far too small ‘There is a universal tendency to misjudge the face in this was, probably because we learn early on that faces and facial expressions are pretty good indicators of whether we can expect to be stroked or scolded. Reward and punishment being such important things in life, we fall into the habit of focusing on the features of those around us. So when we draw or paint a head, we naturally tend to zero in on the part that interests us the most: the face. Beginners are also under the im- pression that a likeness depends very ‘much on getting the features exactly ‘ght and very litte on the rest of the head. So the features are drawn as sigantic, because they loom gigan- tically in the beginners mind. The way wwe recognize someone is actually based on overall appearance—the cies that make us recognizable from a distance or as a vague figure ina group photo. It’s a pattern that includes hair and head shape and general propor- tions. No matter how perfectly the eye is drawn, for example, if the surround- ings arerit right, the head worrt look right. The cure for these problems is simple—start with the bigger forms, then work down to the smaller. We must work very hard at pinning down that big pattern first. When the time ‘comes to work on the details, we look at them in relation to their surround- ings; they will shrink in size accor dingly. One of my drawing teachers used to say that “in relation to” is the ‘most important phrase in drawing. No- where is it more important than when drawing the head.EGE a) Ficst things first, Features— ‘and ony expression they reveal—are the last things developed in a drawing of the head. The most dificult cond importont stage is ac- tually the first, defining the ‘overall shape of the head, In the second stage the head is broken down into lit ond shadowed planes, building the sense of three dimensions. Finally, the fea- tures ore rendered—a much easier job ifthe first two stages are done right aLooking AT‘THE Sku, _ ‘The skull is the most important of the deep forms that give shape to the face. Differences between one person and another are largely a result of differ- ences in the skull. The skull deter- mines the shape of our head and the location of our features. Hallowe'en and horror films aside, itis a beautiful and fascinating structure. Part of an artist’ training is to care- fully observe and draw the skull from a variety of angles (a plastic skull can be used). Eventually, the skull’s basic framework is memorized and then used as sort of a mental armature ‘whenever the head is drawn. Norman Rockwell, whose drawings of heads were always his strong point, recalled, “L had an art teacher years ago (George Bridgeman) who made us draw hundreds of skulls in all positions. [felt he was overdoing it at the time, but now I realized what a wonderful Jessonhe taught us. Whenever Idrawa head, I instinctively feel the skull structure beneath.” ‘Weill look at the skull in a simplified, streamlined version. Then welll exam- ine it’s proportions, finally describing the different parts of the skull and how they relate to what we see on the face. A Simple Version ‘The best way to memorize a complex form is to find a simpler form that’s a close equivalent. Froman artist’ view- point, cars are boxlike; Christmas trees conelike; smokestacks and pen- cils simply larger and smaller versions of cylinders. Relating objects to simple forms is very helpful both in drawing them from life and from the imagina- tion, Although attempts have been made to equate the head with a box, an ‘egg, or another fundamental form, most artists prefer a slightly more ‘complex shape to use as their imagin- ary model. One example is illustrated. O6 A simple model forthe head, the combination of a slightly rounded box ‘and a smaller wedge, con be eosily visualized from a varity of positions. ‘The box form i like « cube with o bit ‘added on; the wedge is a streamlined version ofthe skeletal jow.Skull and Head Proportions Although the skull is what makes our vious. People, and skulls ae different, Overalt Shape heads different, all skulls are basically but not all that different. Weke just The height of the skull and the depth of the same. We think that because ev- used to people. the skull are nearly the same. Keeping ‘eryone looks so different, the diffe- ‘The consistent shape of the skull this fac in mind helps avoid the com- ‘ences between one person and the makes proportional rules forthe head mon drawing error, “cutting off the next must be quite pronounced. But possible. The exceptions to the rule back of the head”—making it too wee experts; weve been looking at arent off by much. Its not true, for short. In a side view, before marking faces every day of our lives. If youve example, that all people have eyes half- off the end, compare the height to the ‘ever watched an expertinanotherfield way up their heads. The exception depth, making sure they're approx- at work— say, a geologist eamininga might be someone with eyes slightly imately the same rock, or a palm reader looking at a higher or slightly lower. And for the The width ofthe skulls the smallest hhand—you know how much more they vast majority of us, this pattern will dimension. ‘The average stall is only see in what theyre examining than we hold true. about two-thirds as wide asi is tll. It do. Their long experience lets them gets that wide at the level of the cheek- distinguish tiny variations between bones; its narrower above and below. items we might think identical. The SOME PROPORTIONAL FACTS __Sulls with wider cheekbones have a distinctions we are capable of making Therehave been alotofrulesinvented more oval shape. With slender cheek- with the face are just as refined, but concerning the proportions ofthe skull bones, the skull appears more rec~ skulls are another matter—we simply going back atleast as far asthe Greeks. tangular, because theres less cllfer- dont have enough practice looking at I discuss below the ones I think the ence in size between the cheekbones skull, and so the variations aren't ob- most important. and the rest of the skull. ae ene ae) vgueassy The similarities mong human heads are more striking than the differences. Artists have A UPPER THIRD a name for the major type of similarity: proportion. Proportionel patterns inthe head 8. MIDDLE THIRD have been the subject of ertsts' attention since classical imes. We use the skull os our © Lower THIRD guide because its landmarks are the most stable. The most consistent, ond useful, pro- D. HALFWAY POINT portional rule regarding the skull is the location of the halfway point. It almost always falls in the middle of the orbit, which on the foce is the middle of the eye: The eyes ore halfway up the head. Exceptions to this rule are rare. Another important patter is the rule of thirds. From the top of the foreheed, the skull divides into three equal sections: forchead-brow; brow-base of nose sackel; bose of nose socket—chin.Location of the Eyes The smaller forms of the skull help determine the locations of the fea- tures, The eye socket, for instance, determines the position of the eyes Since the eye socket invariably falls about halfway up the skull, the eyes are always found on or near the midline of the head. To be more precise, the inner eye comer usually sits on an imaginary line drawn through the middle of the head. This rule alone would save many students a lot of grief. Because people tend to make the features too big, the eyes tend to goa lot higher up the head ‘than just halfway, ‘The Rule of Thirds ‘The skull can be divided in another ‘way. A point is located just below the top of the skull called the “widows peak.” This is the spot where the fron- lal bone (corresponding to the fore- Nobody's perfect. Ws it she, or wos it her portrait painter? A most peculiar- looking effect occurs when the eyes fall higher than halfway up the head. The woman might have looked this way, but o for more likely explanation is thatthe artist (an early American painter) inadvertently left out part of her forehead, Toking a bit off the top is the most common of all errors in portraiture. m head) makes a sharp break with the upper plane—it's just slightly below the actual top. From here the skull is divided into thirds, and each dividing line falls on a major landmark as follows: (One-third of the way down from the widow's peak, the bony prominence called the eyebrow (or superorbital) ridge bulges out above the eye socket. On the face, this is where the eye brows grow. Ci Two-thirds of the way down from the widow's peak, the bottom of the oval-shaped nose socket is found. On the face, this is where the nose ends— where the tip turns under to meet the upper lip, CO The lower border of the skull is the edge of the bony jaw: On the face, this js the border of the chin, where the face ends and the neck begins, ‘This proportional pattern—the divid- ing of the skull (and face) into three ‘equal regions—is not quite as univer- sally true as the one concerning the ‘eyes, But skulls—and people—don't vary from this arrangement by much. ‘When there are exceptions to this rule, it usually the central third that varies from the arrangement. Accord- ing to the rule of thirds, the distance from the base of the nose to an imagin- ary point between the eyebrows is the same as the distance from nose base to the bottom of the chin. I say this is right on the mark about 70 percent. of the time. The rest of the time it usu- ally the length of the nose that's short. About 30 percent of us have noses that are a bit shorter than the space from rose to chin. It is exceedingly rare to find someone with the distance from nose base to eyebrow longer than the distance from nose base to chin.Long-nosed or average? The oristo- cratic Edvard Degas pointed mony self-portraits. A siiking feature of most of them is his long, slim nose Long indeed: os soon inthe etching, Degas nose is longer than the di tance from the base of his nose to his chin. On the average face, the dis- {ance from the top of the nose (A) to the nose bose (B) is he some os the distance from the nose base to the chin (€).On one out of four people, A 0B is shorter. The Degas nose occurs less than 5 percent of tho lime Is this the “Degas nose”? Examining the photograph of the artist, it ap: ppeers that he had proportions more ‘overage than those he painted, the! is, his nose ond chia lengths seem equ. Rather than being os literal as they seem, Degas’ self-portraits may rep- resent o colculated exaggeration, 0 sort of selfcaricature. 2%DROZErRY-zemmone> FRONTAL BONE PARIETAL BONE TEMPORAL LINE ‘SUPERORSITAL RIDGE Retr GLABELLA NASAL BONE TEMPORAL BONE ZYGOMATIC BONE 2YGOMATIC ARCH MAXILLA MANDIBLE |. NOSE SOCKET (MENTAL PROTUBERANCE EARHOLE HINGING POINT OF JAW ANGLE OF JAWHata gases [No other skeletl form inspires uch slong ossociations as the human skull. I's s0 close in shape tothe hecd tho it limos seems fo hove its own personality. Here, each of the key forms of the skull is added to the simplified head block, aree by orea, Each makes its presence strongly felt onthe surface ofthe living head. Artists con benefit greclly by cetaning these forms in their minds as sort of arma {ure upon which renderings ofthe head con be based. ‘The skull con be summarized as a wedge hanging below «@ rounded, rectangular bloek. By adding on and carving ‘away, these simple shopes con be oltered to produce © version much closer to the skull’ octual appearance, This will be done in stages based on the three sections: widow's peak to brow; brow to base of nose; and bose cof nose fo chin. The basic block: a perfect square in front, rectangular ‘on the side, and rounded con the top. portion ofthe frontal bone—makes an abrupt break withthe curved dome of the skull atthe widow's peak (B) is surfoce is gently rounded, like the roof of @ car. $0 slow isthe curve that the light values change on the fore- head more gradually thon anywhere else on the face. The lower edge of the forehead plane protrudes out as the two arched mounds ofthe eye- brow or superorbitel ridges (C).Link- ing them in the middle is the keystone- shaped glabella (0), the attachment point for the frowning musclesCa ee) The eye sockets are roughly rectonguler. The best woy to understand their shape is by clearly visualizing their bony rims, curving from front to side ond bending from above le below. Here, rim’ shown as 0 wire ‘frame, twisted by the steps below into required shape. A, The primary form is @ rectangular frame with rounded corners, like the frame of a pair of eyeglasses. {3 B. The lower, inside corner is cut off, replaced by an crc. (This curved line will shows on most faces.) . The entire frame folded abit along its waist, bend- ing let ond right verticals. D D. The outermost quarter of the frame is twisted to the outside, so that part of the frome foces frontward, part sideways. The in-ond-out curve of that outer edge shows up in oll three- ‘quarter views. 8 A Brow ridge to base of nose socket. The middle third ofthe skulls the most teresting part's got the shadowy, sod-looking eye sockels and the projecting cheekbones. I's also the part where the forms are the most complex. Curiously, ‘he upper ond lower holf ofthis orea are practically reverse images of each ‘ther The upper half, oround the eyes, consists of two voids connected by @ bony plane; the lower half, eround the nose socket, is made up of two bony plones separated by 0 void With he exception ofthe nose socket, which is ‘completely invisible onthe living Face, all these forms are felt strongly on the surfoce {As seen in profile, the fore- head slope (A) varies from nearly vertical to quite a led. As a rule (with plenty of exceptions), men's fore- heads are mare sloped thon women’s. A strong eye- brow ridge (B) is a more constont indicator—if 0 skull hos it it definitely mole. Without the brow Fidge, the female profile al ‘ways shows a smoother transition from forehead to nose. Note the slont of the glabella (€)—it always looks downward.ase) he nose socket has a keyhole-shaped, raised edge. The upper portion, be ‘ween eye sockels, is formed by the bridge of the nose. The bridge, ¢ strong, sharp-cornered form (Al, projects outward ot about the same angle that the glabella (B) projects inward. The angularity ofthis (never softened by fat) pro- duces the sharpest edges on the head. When light comes from the side, no- ‘where else is the boundary between light and dark as cleerly visible. The bridge con be felt clearly under the skin; below the bridge the rim ofthe nose socket isnot so clearly marked on the surface A. Three flat planes or- ranged in on upside-down U make the bridge of the nose, also called the nasal bone. This shape is similor 1o that of a row of staples. B, To complete the nose socket, the side planes of ihe bridge are extended down the skull, flaring out- ‘ward slightly and eurving in @.s0rt of oval. The bottom ofthis construction, found fon the living face beneath the fp of the nose, is simply cite flat shelf ‘The ongular cheekbones, like the fore- head and bridge ofthe nose, can be felt jst below the skin. Once you find the beginning of he cheekbone be- neath the eye socket, you can follow the raised bony surface bock fo the “ or. But just below the cheekbones no bone is fel at al. This isthe location ofthe thickest fatty pad on the face. Here, the cheekbones are visualized as resembling a pair of card- board spectacles. Th flat, squarish front planes ore similar in size fo the eye sockets; whore they sit is always the widest point on the face. The eyegloss “stems” are known as the zygomatic arches, prominent not just on our skulls, but also on those of many of the mommols like cats and mice. The arches end justin front ofthe ear- hole, halfway back on the skull. Where the stem and the front plate join, a thin, upright stem arises, following the eye socket along its ‘outer rim. This form con be clearly seen on thin peopleEERIE Aa eee) Bose of nose to chin. The lower por- tion ofthe skull is more or less wedge shaped, the product of the combined forms of the upper ond lower jaws. The fixed upper aw (the maxilla) is much simpler in overall form; the horseshoe-shoped lower jaw (the ‘mandible) is the one that moves. The forms of both jaws are somewhat hid- den on the living face; the clearest penetration fo the surface is the outer edge of the lower jaw, which forms the chin ond the jaw line extending back to the ear ‘The upper jaw drops from the cheek- bones ond nose socket like ¢ small holf-eylinder. Ws bit flattened, os orlinders go, porticularly the front part. The teeth aren distinct From the iow above in terms of shope and di- rection. Theyre curved jus! as their supporting cylinder is curved: o bit flat in the front, turning suddenly to the side. (Line A seporates identical curves of upper teeth ond upper iow.) ‘The cylinder of the upper jaw and teeth—like the matching cylinder on the lower jow—is more sharply rounded than the rest of he face. The mouth, which follows this surface closely, is also more curved thon the face surrounding it. The shape of the ‘upper jaw ond teeth has « major im- pact on the shape of the smile, when the streched upper lip is pulled into close contac 0 The lower jaw is basically «@ horseshoe with arms, supporting the half-cylinder of the teeth (B).I"5 squared off infront (like the teeth, tengling backward like the two lege of a V. Two fat, vertical arms rise from the rear end of he jew toa hinging point just ahead of the ear. The movable man- dible con odd an inch or two to the length ofthe face when it drops open.Ii takes very litle to turn a skull into a foce. In many places the ouiline ofthe face is the outline of the skull. If you practice drawing the skull for a while, after o time you {et the impression of “seeing” the bone through the surfoce, Visible planes. This figure shows the shadow edges tha follow the plones of the skull underneath. The shorpest edge is usvelly ‘long the side of the nasal bones, atthe bridge of the nose. Notice how the edge softens as it moves onto the fleshy part of the nose. The skull also shows eround the inner edge of the orbit ‘and the entire lower edge of the jaw. Here are the features, superimposed on a drawing of the skull. The ouiline on the left side ofthe foce follows the bone excetly, ex ep! for the soft area between the cheek bones ond the chin. On the right, the skull defines the plane turnings: forehead, cheek- bone, edge of the orbit, bridge of the nose, chin [A. The eyebrows grow out of the superorbi- tal ridge. - The cheekbones and orbit are always on the for outline in three-quarter views. , There is © change in direction where the cheekbone ends and the fleshy cheek be- gins, Ths line is usually fairly straight. . The mouth is centered on the upper teeth, not the edge where the teeth meet. The curve ofthe lips follows the curve ofthe teath, E, The eor is located justin bock of the end of the zygomatic arch. This is the location of the earhole. The temporal line sometimes shows on people, aLOOKING MORE CLOSELY AT THE JAW The lower border of the face is de- fined by the jaw. A sensitive drawing ‘will show its sharp changes in direc- tion, Straight lines will work more ef fectively than curves. 'No matter what angle the lower jaw is drawn from, it can be morked by three defining lines. The frst, corre- sponding to the chin (A, is flat from both the front ond the sides. It con= nects on either side with the ongled lines of the body ofthe jaw (B); short when seen from the front, long from the side or three-quarter view. The up- right ramus (€) makes on elmost verli- cal edge, pointing ot the eor lobe. From the front the upright sides Cf the jaw appear to slant in- ‘ward slightly from the ears, The break between ramus ond body—the angle of the jaw— ‘occurs just below the level of the mouth (B). The chin moun ball-Iike; on some people there is @ groove in the middle, re- flecting a similar groove on the front ofthe jaw. 2LeU e Meek ‘As the head turns, the body of the jaw appears to shorten. On the far side of the face, the foreshortened body (B) appears to go in almost the same direc fion os the vertical ramus (C). A slight change in direction is maintcined, and the chin op- pears almost flat In profile, the jaw oppears as bbont L-shape, consisting of the clmost vertical ramus (D] and the almost horizontal body. The back edge of the ramus points > oi the front ofthe ear. The chin ¢ hos an in-and-out shape be- ‘cause ofthe conine fossa (E) ‘ond the mental protuberance (F. 8Here's two heads thet contrast the showiness of the jaw line. On the wo- man's face (below), it shows through most ofits length. On this man's head, the jawline disappears after the chin but sil can be sensed under the surfece. This woman hos wider cheekbones than the man above. Her face thus hos ‘¢ more oval quality ond @ sharper an- ‘le from cheekbone to chin, Learning the anatomical forms when they op- pear the clearest helps to see them ‘when their look is much more subtle. The very wide cheekbones make this line a much sharper angle than over- oe (AIn profile, the relotionship between skull and face is particulerly cleor. The hair follows the shape of the skull—straighter hair ‘would hug the form even tighter. The eyebrow ridge is only a vague bump (A) ‘Whether or nol the cheek- bones show up depends on the thickness of the fatty pad of the cheek as well as the shape of the cheekbone itsolt B. The ow often becomes less shorply marked as it rises from the angle of the iow. . This shodow is caused by a lack of cheek fot un-